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Patent Bar > Chapter 100 Secret and Public Files > Flashcards

Chapter 100 Secret and Public Files Flashcards

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1
Q

General Rule on Confidentiality of Patents

A
  1. Patent Applications MUST be kept confidential.

2. Approved Patents are open to the public (unless Secrecy Order).

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2
Q

How PTO Maintains Confidentiality

A
  1. No information on Filing, Status, or Subject Matter to be disclosed.
  2. No access or copies to be given to the public.
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3
Q

Exceptions to the Confidential Status of Applications

A
  1. Written authority from applicant is gained.
  2. Application is BOTH abandoned and published.
  3. Application cannot be in a file jacket of a pending application. (No one is trying to continue patenting the invention.)
  4. Deemed necessary by the Commissioner.
  5. Application’s material is incorporated by reference in a (published) US patent.
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4
Q

Name the 3 Major Types of Patent Statuses

A
  1. Pending
  2. Abandoned
  3. Issued
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5
Q

Status Information of an Application is not Disclosed, Including:
(4 things)

A
  1. Application Status: Pending, Abandoned, or Patented
  2. Application Number and Filing Date
  3. Whether one or more applicants claim the benefit of the filing date.
  4. Whether the application claims the benefit of the application for which the status information is requested.
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6
Q

When May a Person Be Provided the Filing Date?

A

When the person requesting the status information provides at least 6 digits of the numerical identifier.

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7
Q

How to Determine the Status of an Application:

A
  1. Obtain access from the applicant.
  2. Send a request to the applicant identifying the application’s serial number and filing date.
  3. In addition patent must be in the National Phase (International applications are always kept confidential).
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8
Q

When is the Status of a Parent Application Disclosed?

A

When the status of any pending Continuation, CIP, or Divisional application derived from it is also disclosed.

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9
Q

When is Status Information Available for an Application?

A
  1. Application is referred to by it numerical identifier in a PUBLISHED patent document.
  2. US Application open to public inspection.
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10
Q

Rule on Access of Inventors to the Application

A
  1. Coinventers ALWAYS entitled to access to their application (doesn’t mater if the declaration has been signed by the person).
  2. If the Oath or Declaration hasn’t been filed yet, Inventorship is that which is listed in the application papers.
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11
Q

What Files are Open to the Public to Inspect?

5 Things

A
  1. Issued Patents or Published Statutory Invention Registrations
  2. All Reissued Applications
  3. All Requests for Reexamination
  4. Papers Related to Reexamination Proceedings
  5. Files of Any Interference (involving a patent, statutory invention registration, a reissue application, or an issued patent); however the Interference must be terminated and an award of priority or judgment has been entered.
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12
Q

Rule on Access to Pending or Non-Published, Abandoned Patents

A
  1. May not be openly viewed by any member of the public.
  2. If a patent application has been published then a copy of all papers relating to that file may be provided upon WRITTEN request and payment of the proper FEE.
  3. If a REDACTED copy was used for publication, then only the copy of the redacted application plus relevant material will be available.
  4. If published patent application is PENDING, then only copies of the APPLICATION FILE may be obtained.
  5. If published patent application is ABANDONED, then the ENTIRE APPLICATION is available for inspection.
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13
Q

Who May View Pending or Abandoned Patents?

A
  1. Any of the Inventors (unless Assignees request otherwise)
  2. Any NAMED Inventor (even if they didn’t sign the paperwork)
  3. Any Assignee (Entire or Partial Interest)
  4. Licensee of ENTIRE interest (not partial)
  5. Attorney or Agent of Record (anyone given written authorization)
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14
Q

Rule on Access to Abandoned Applications

A
  1. WRITTEN Request is sent in and APPROVED.
  2. Abandoned application is not in the File Wrapper of a PENDING CPA and is referred to in a US Patent application or another US application open to the public, OR a published international application designating the US.
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15
Q

When is Obtaining Access to an Abandoned Application Possible?

A
  1. It’s Published.
  2. Referred to in a US Patent
  3. Referred to in a US Application open to the Public.
  4. Claims the benefit of a US application filing date that is open to the public.
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16
Q

Rule on Access to Provisional Applications

A

May only be viewed by parties who have gained WRITTEN AUTHORITY from the named APPLICANT.

17
Q

Rule on Access to Reissue Applications

A
  1. Reissue applications filed after March 1, 1977 are OPEN TO THE PUBLIC
  2. Announced in Official Gazette
18
Q

Rule on Access to International Applications

A
  1. DENIED to all members of the public UNTIL the application becomes PUBLISHED INTERNATIONALLY.
  2. Applicant may authorize access to a specific individual.
19
Q

Rule on Access for Incorporation by Reference

A

Access to an application may be granted to ANYONE who REQUESTS it.

  1. Only receive a copy of referenced part.
  2. ENTIRE application provided IF inventor fails to provide material within specified period.
20
Q

Petition for Access (Pending and Abandoned Applications)

A

Pending or Abandoned applications preserved in confidence may be REQUESTED by

  1. Sending in WRITTEN AUTHORITY to the applicant asking to view.
  2. Filing a PETITION (w/ Fee).
21
Q

Petition for Access to Pending or Abandoned Applications must include:

A
  1. Why access is DESIRED.
  2. Why petitioner is ENTITLED to access. (What special circumstances are there?)
  3. NOTICE that copy of petition was given to applicant/owner. (Servicing the Applicant)
22
Q

Special Circumstances that are Acceptable for Seeking Access to an Application include:

A
  1. Owner is using the application to INTERFERE with a competitor’s business.
  2. Patent relies upon application for PRIORITY.
  3. Application is REFERRED TO in an issued patent.
23
Q

Length of Time for Viewing an Application (Access Already Granted)

A
  1. Good FOREVER, if granted by the AGENT, ATTORNEY, or INVENTOR.
  2. LIMITED, if granted by the PATENT OFFICE
24
Q

What is the Purpose of “Servicing the Applicant”??

A

Give the applicant/owner a chance to decide if the petitioner should only be granted access to a PORTION of the file instead of the entire file.

25
Q

When is Servicing Not Required?

A
  1. Application is incorporated in whole or part into an ISSUED US patent.
  2. Application is PRESERVED IN SECRECY.
26
Q

What is a Secrecy Order?

A

Patent applications that contain issues that are SENSITIVE to NATIONAL SECURITY will be kept secret. A SECURITY REVIEW will be completed before a NOTICE OF ALLOWANCE is mailed to the applicant.

27
Q

Terms of a Secrecy Order

A
  1. Remains in effect for 1 YEAR from the date of issuance.
  2. Term may be RENEWED for additional terms (each term cannot exceed 1 year).
  3. Can be renewed AS MANY TIMES AS NECESSARY.
28
Q

Rule on Foreign Filings

A

If an Inventor files a patent application in the US, he or she MAY NOT FILE the SAME application in a foreign country BEFORE 6 MONTHS without first obtaining a FOREIGN FILING LICENSE.

29
Q

What Happens if an Inventor Illegally Files in a Foreign Country?

A

The Inventor must immediately file for a RETROACTIVE LICENSE.

30
Q

What Must the Petition for a Retroactive License Include?

A
  1. A LIST of all the foreign countries where the application was filed.
  2. DATES each of the applications were filed.
  3. OATH stating that the subject matter is not under a SECRECY ORDER, evidence that the license has been DILIGENTLY sought, and evidence that the illegal foreign filing occurred by MISTAKE and WITHOUT DECEPTIVE INTENT.
  4. Large penalty FEE.
31
Q

When are Foreign Filing Licenses Not Required?

A
  1. Invention was made OUTSIDE of the U.S. (even if by an American).
  2. Inventor WAITS 6 MONTHS after filing in the US.
32
Q

Rule on Nuclear Material or Atomic Energy (DOE and NASA Statements)

A

No patents issued except under SPECIAL circumstances.

Patent Bar (6 decks)

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